Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Brooks is a financial advisor based in Addison, TX. Philip has been working in the financial services industry since 1977. Philip is currently registered with Redwood Family Wealth LLC and previously worked at RAYMOND JAMES & ASSOCIATES, INC., RBC DAIN RAUSCHER INC., DAIN RAUSCHER INCORPORATED, RAUSCHER PIERCE REFSNES, INC., SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. Philip has passed the Series 63, Series 65, Series 7, Series 5, Series 8, Series 9, Series 10, and SIE exams. Philip specializes in providing financial planning services, and portfolio management for individuals and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
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2
TX
01/18/2025 - Present
Redwood Family Wealth LLC (ADDISON TX)
TX
10/26/2007 - 04/15/2020
RAYMOND JAMES & ASSOCIATES, INC. (DALLAS TX)
TX
03/02/1998 - 11/13/2007
RBC DAIN RAUSCHER INC. (PLANO TX)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
01/11/1991 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NY
06/05/1989 - 11/28/1990
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
09/26/1978 - 06/12/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
04/01/1977 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 12/27/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/02/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/25/1985
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/1981
Series 5 - Interest Rate Options Examination
BC
Issued 09/08/1977
PC - AMEX Put and Call Exam
BC
Issued 03/19/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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